Investment Management Regulatory Update
Client Newsletter

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SEC Rules and Regulations

  • SEC Staff Responds to Questions About Form PF
  • SEC Requests Information to Inform Consideration of Uniform Fiduciary Standard for Broker-Dealers and Investment Advisers

Industry Update

  • SEC Official Discusses Broker-Dealer Registration Issues for Private Fund Advisers
  • NFA Amends Rules to Simplify Reporting Requirements for CPO and CTA Members


  • SEC Charges Former Public Company Employee in Expert-Network Insider Trading Case
  • SEC Charges Mutual Fund Directors and Service Providers for Deficiencies Relating to Investment Advisory Contract Approvals
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